Dalian Commodity Exchange (DCE) continues to investigate and handle abnormal trading activities and violations for the purposes of performing front-line market supervision responsibilities, regulating futures trading activities, preventing and mitigating market risks and protecting the legitimate rights and interests of market participants. In November 2023, 28 cases of abnormal trading were investigated and handled.
Among the 28 cases of abnormal trading, 10 cases were self-trade exceeding frequency limit, 12 cases were frequent cancellation of orders and six cases were cancellation of large-amount orders. The above-mentioned clients whose trading activities reached the handling threshold of DCE have been delivered telephone alert through the Members and the self-regulatory measures of restricting the opening of positions for one month have been taken against one client.
In addition, DCE also investigated and handled six violation clues, including three cases of transferring funds through matched orders, three cases of self-trade or negotiated trade affecting contract prices. DCE has conducted investigations against the relevant clients and taken corresponding measures in accordance with DCE rules.
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